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Since 9/11, the Federal government has increasingly viewed export control regulations as a means to potentially guard against terrorism and other threats. As a result, there is renewed focus on compliance and enforcement of these regulations, in particular at universities.
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This web page answers the following questions:
Export controls are US laws and regulations that regulate the distribution
of technology, services and information to foreign nationals and foreign
countries for reasons including foreign policy and national security.
Export controls usually arise for one or more of the following reasons:
Northwestern University does not enter into agreements to conduct "secret" or "classified" research, nor does it agree to any requirements that restrict the freedom of a scholar to publish or disseminate findings. Further, the University seeks to avoid discrimination on the basis of citizenship status. Simply foregoing these freedoms, regardless of intent, may trigger the strict application of federal regulations. Violation of these regulations may bring severe penalties. However, in some circumstances there may be exclusions from export controls, thereby allowing technology releases to foreign nationals on campus in the US. In order to maintain these exclusions, strict adherence to certain conditions and University policy is required. See "What is fundamental research?"
Any oral, written, electronic or visual disclosure, shipment, transfer or transmission outside of the United States to anyone, including a U.S. citizen, of any commodity, technology (information, technical data, or assistance) or software/codes
Such exports include transfers of such items or information
to foreign embassies, overseas corporate affiliates, and contractors.
Any oral, written, electronic or visual disclosure, transfer or transmission to any person or entity of a controlled commodity, technology or software/codes to a non-U.S. entity or individual, wherever located (even to a foreign student or colleague at Northwestern University)
A Foreign National is an individual who is not a United States citizen, a permanent resident alien of the United States, a lawfully-admitted temporary resident alien or refugee, or other protected individual as defined by 8 U.S.C. 1324b(a)(3). For purposes of Export Controls, individuals on a student visa or H1 visa (including foreign visiting faculty) are considered Foreign Nationals.
Export regulations apply regardless of whether the recipient of the information, technology or materials is unfunded; or funded by a grant, contract, or other agreement; and apply whether or not the Export Administration Regulations (EAR) or the International Traffic in Arms Regulations (ITAR) are cited in related award documents. If a researcher accepts export-controlled technology or information from a government agency, industry, or elsewhere, the researcher is subject to ITAR or EAR regulations. If a Northwestern researcher is unsure whether s/he may be receiving or generating export-controlled information, the researcher should contact the Office for Export Controls Compliance for assistance.
The equipment and technologies that may be covered by the regulations are extensive, from software, computers, cameras, centrifuges, autoclaves, accelerators, radiation detectors, etc. to a wide range of chemicals, biological agents, and toxins. The list of items that may be subject to some form of regulation is approximately 50 pages long. Each item has detailed specifications (e.g., not all cameras are subject to export controls) and, importantly, only technologies that are not publicly available are subject to the controls, although special rules apply to even publicly available encryption software. Each type of item is classified in the export control regulations according to those countries to which it cannot be exported. For example, some items cannot be exported at all without a license; others may be shipped only to Canada without a license; while still other items can be exported to all but a few countries.
Fundamental research is basic and applied research in science and/or engineering where the resulting information is ordinarily published and shared broadly in the scientific community.
University research will not qualify as fundamental research if:
Most Northwestern research activities are excluded from export controls because of a general exception for fundamental research. Both the EAR and the ITAR provide that no licenses are required to disclose technical information if the information is in the public domain. Information is in the public domain if it is published and generally accessible to the public through unlimited and unrestricted distribution or through "fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community". This fundamental research exclusion applies to basic and applied research in science as long as the research is carried out openly and without restrictions on publication or access to or dissemination of the research results (EAR 734.8; ITAR 120.11(8)). By not accepting any restriction on publication or foreign nationals, Northwestern protects the fundamental research exclusion.
While exports to all countries are controlled in various ways, there are very strict prohibitions on shipments and interactions with the following countries currently considered by the U.S. Department of State to be state sponsors of terrorism, known to have to have repeatedly provided support for acts of international terrorism: Cuba, Iran, Sudan, and Syria (see http://www.state.gov/j/ct/list/c14151.htm). Additional countries under sanction can be found at http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx (Department of Treasury) and http://www.bis.doc.gov/policiesandregulations/ear/746.pdf (Department of Commerce).
1) US Department of State (http://www.state.gov/)
2) US Department of Commerce (http://www.commerce.gov/)
3) US Departmentof Treasury (http://www.ustreas.gov/)
It is important that faculty and other researchers understand their obligations under the regulations and follow them. The consequences of violating the regulations can be severe, and include loss of research funding, fines, and/or prison time. Northwestern will assist investigators in complying with export control laws, but the primary responsibility rests with the researcher.
Researchers throughout the US are challenged by export control regulations. While many organizations provide information on the topic, we highlight below several sites that are the most informative:
Introduction to Commerce Department Export Controls - Bureau of Industry and Security/U.S. Department of Commerce
COGR Export Control Issues - Council on Governmental Relations
For more information on export controls, please contact Lane Campbell, Director, Export Controls Compliance, at 847.467-4063 or via email at firstname.lastname@example.org. This web page will be updated to provide more information in response to questions and comments received.
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